Filing Details

Accession Number:
0001209191-13-013847
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-05 14:57:42
Reporting Period:
2013-03-01
Filing Date:
2013-03-05
Accepted Time:
2013-03-05 14:57:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1430592 Financial Engines Inc. FNGN Investment Advice (6282) 943250323
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1486949 Olena E. Berg-Lacy 1050 Enterprise Way
3Rd Floor
Sunnyvale CA 94089
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-03-01 667 $6.51 667 No 4 M Direct
Common Stock Disposition 2013-03-01 667 $32.69 0 No 4 S Direct
Common Stock Acquisiton 2013-03-01 2,833 $8.75 2,833 No 4 M Direct
Common Stock Disposition 2013-03-01 2,833 $32.69 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2013-02-27 667 $0.00 667 $6.51
Common Stock Stock Option (Right to Buy) Disposition 2013-03-01 2,833 $0.00 2,833 $8.75
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-12-17 No 4 M Direct
3,000 2020-01-26 No 4 M Direct
Footnotes
  1. The price reported in Col 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $32.58 to $32.73, inclusive. The reporting person undertakes to provide, upon request, Financial Engines, Inc., any shareholder thereof, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  2. The option award is fully vested.
  3. The option award vests as to 2,500 shares on 1/26/2011, and the remaining shares vest monthly thereafter from 2/26/11 to 1/26/2014.